Securities Brokers and Broker/Dealers
Public Inquiries
Inquiries regarding a Broker's licensing status and disciplinary history can be made by calling the Division at 303-894-2320 and asking to speak to the examiner in charge of Central Registration Depository (CRD) records or connect to the FINRA Web Site
The Colorado Division of Securities does not require that Broker Dealer firms file their Annual Audited Financial Reports with our office. The Division will request such reports on an individual basis if needed. Usually, the only annual filing is the renewal process which is submitted through the CRD System.
Procedure for becoming Licensed as a Securities Broker/Dealer or Sales Representative in Colorado
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SEC/NASD and COLORADO Licensed Firms and Sales Representatives |
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COLORADO (ONLY) Licensed Firms and Sales Representatives |
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COLORADO Mortgage Broker/Dealer Licenses |
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